Policy and Procedure Template 1285
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My company is beginning to document policies and procedures for becoming compliant with SOX in 2007. I wondered if anyone has a template or framework for elements that would be required by SOX aas it relates to documentation of policies and procedures.
We have developed the following items that we deem necessary
Policy Summary
Procedure
Existence of control (proof of control and location)
Evidence of control (what proves the control)
Supporting documentation and references
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Try the following links for example SOX process documentation, related policies and procedures, and other resources:
AuditNet:
auditnet.org/SarbOx.htm
KPMG:
us.kpmg.com/microsite/attachments/ACO_SO404FAQ_040856_POST.pdf
PCAOB:
pcaob.org/
PricewaterhouseCoopers:
pwc.com/images/gx/eng/fs/insu/rt4.pdf
protiviti Consulting:
knowledgeleader.com/iafreewebsite.nsf/content/InternalAuditProcessDocumentationNarrativeandFlowChartGuide?OpenDocument
Regards,
milan